345 Park Avenue
New York, NY
10154
 212.407.4279
 646.417.5695
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Stephen
H.
Cohen
Partner
Stephen Cohen focuses his practice on broker-dealer regulation and the securities markets. Mr. Cohen advises broker-dealer clients on a wide variety of regulatory and transactional matters, including federal and state registration and compliance issues and SRO membership and compliance issues, including FINRA (formerly NASD), the stock exchanges and the clearing corporations. His clients include major international banks, domestic and foreign investment banks, full service and boutique brokerage firms, clearing firms, transfer agents and hedge funds.
During the past five years, Mr. Cohen has served as regulatory counsel in over 50 private and public transactions valued at a combined total of more than $75 billion. Mr. Cohen served as the sole US broker-dealer regulatory counsel for both The Bank of New York Company, Inc. and Mellon Financial Corporation in their $16.5 billion merger completed in 2007, and their subsequent ongoing multi-year integration plan. Most recently, he acted as regulatory counsel for The Bank of New York Mellon Corporation in connection with its $2.31 billion acquisition of PNC's Global Investment Servicing Inc. (GIS) business, a provider of custody, fund accounting, transfer agency and outsourcing solutions for asset managers and financial advisors.
Mr. Cohen also heads up the firm’s Dodd-Frank Financial Reform Task Force, facilitating the registration and exemption process for private fund managers.
Transactional Regulatory Counsel
In addition to advising clients generally on regulatory matters, Mr. Cohen has developed a specialty in providing regulatory advice to financial institutions in the following areas:
- Domestic and cross-border capital market transactions
- Strategic corporate transactions including mergers, acquisitions, joint ventures and dispositions involving broker-dealers
- The creation and restructuring of major business units
- The rationalization and integration of broker-dealers within global financial services firms
Publications/Speeches
- Speaker, Outsourcing in Financial Services (January 23, 2013)
- Speaker, Outsourcing & Regulatory Compliance: A Match Made in Heaven?, 7th Annual Asset Management Industry Transformation & Outsourcing Strategies Forum, New York, New York (December 8, 2011)
- Author, Newly Created Dodd-Frank Adviser Exemptions Are No Vacation from the Advisers Act, Bloomberg Law Reports - Securities Law (November 2011)
- Speaker, Outsourcing in Financial Services (November 1, 2011)
- Speaker, 2011 National Society of Compliance Professionals National Meeting, Outside Business Activities — the Good, the Bad, the Ugly, Baltimore, Maryland (October 17-19, 2011)
- Speaker, Surveying the Landscape: A Conversation for Alternative Asset Managers, The Dodd-Frank Blueprint to Registration For Alternative Asset Managers, New York, New York (September 23, 2011)
- Speaker, Dodd-Frank’s Impact on Private Equity Funds – A Conversation for PE Fund Managers (August 11, 2011)
- Speaker, The Dodd-Frank Act: Be the First to Know Its Impact on Private Funds (July 27, 2011)
Media Mentions
Distinctions
- Named "Member of the Year" in Madison's Who's Who Among Executives and Professionals (2008)
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New York University School of Law, J.D.
Columbia University, B.A., magna cum laude
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